February 11, 2016

FINRA Proposes Amendments to FINRA OATS Reporting Requirements

FINRA proposed amendments to Rules 7410 and 7440 that would require FINRA members to identify broker-dealers that are not themselves FINRA members, but that send orders to reporting FINRA members. The amendments would require that FINRA members identify these broker dealers on their Order Audit Trail System ("OATS") reports.

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FINRA Proposal

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SR-FINRA-2020-024: Proposed Rule Change to Delete the FINRA Order Audit Trail System (OATS) Rules
FINRA Effective Date: SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Audit...(2020-12-04)
FINRA Comment Deadline: SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Aud...(2020-12-28)
85 FR 78395 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of Amendment No. 1 and Order Granting Accelerated Approval of a Proposed Rule Change, as Modified by Amendment No. 1 To Delete the FINRA Order Audit Trail System (OATS)
85 FR 54461 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Filing of a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules
85 FR 65113 - SROs; Financial Industry Regulatory Authority, Inc.; Notice of Designation of Longer Period for Commission Action on a Proposed Rule Change To Delete the FINRA Order Audit Trail System (OATS) Rules

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FINRA Proposes Amendments to FINRA OATS Reporting Requirements

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